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MOHAMMAD UMAR SHAMS
MOHAMMAD UMAR SHAMS, MOHAMMADUMAR SHAMS, UMAR SHAMS, Mohammad U Shams, Mohammad Shams…
CRD#: 6885419
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2600 EL CAMINO REAL W
MOUNTAIN VIEW, CA 94040
Registration History
20172018201920202021202220232024202520262 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2020 - 2021 (1 year)BHSBC SECURITIES (USA) INC. (CRD# 19585)2019 - 2020 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - 2019 (1 year)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2021 - 2021 (<1 year)
License(s)

State Registrations

B
Arizona 8/24/2022

B
Georgia 6/15/2023

B
California 8/24/2022

B
Idaho 6/15/2023

IA
California 8/24/2022

B
Nevada 6/15/2023

B
Colorado 6/15/2023

B
Pennsylvania 6/13/2024

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2600 EL CAMINO REAL W, MOUNTAIN VIEW, CA 94040
Registered with this firm since 8/24/2022

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2600 EL CAMINO REAL W, MOUNTAIN VIEW, CA 94040
Registered with this firm since 8/24/2022

Previous Registration(s)
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IA
10/01/2021 - 08/17/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PALO ALTO, CA
B
10/01/2021 - 08/17/2022 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PALO ALTO, CA
IA
04/27/2021 - 09/08/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SUNNYVALE, CA
B
07/20/2020 - 09/08/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SUNNYVALE, CA
B
07/10/2019 - 05/07/2020 HSBC SECURITIES (USA) INC. (CRD#:19585) CUPERTINO, CA
B
12/22/2017 - 06/19/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) CONCORD, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.